As an experienced Financial Analyst and Legal Expert, I fill a significant void in the landscape of financial investing and security regulation. From explaining the complexities of financial markets to untangling the intricacies of legal procedures, I provide insight into the very heart of investment dynamics. Recently, information has surfaced that highlights the seriousness of […]

Dave Smith (CRD# 850797), a broker registered with Intervest International Equities, has been named in multiple investor disputes alleging unsuitable investment recommendations, negligence, and breach of fiduciary duty. These claims center around investments in high-risk, complex products called GWG L Bonds. As an experienced financial writer, I aim to shed light on this situation and

A Complex Web of Financial Misdeeds Looking into the world of investments and securities, one must navigate with utmost caution. There are many pitfalls and dangers. A recent case exemplifying this involves David Geake (CRD #: 3088891), a broker formerly registered with American Trust Investment Services. His actions are detailed in his BrokerCheck record, which

A recent complaint has been filed against prominent financial advisor Phil Simonides (CRD# 1847411), alleging questionable practices concerning investment recommendations. This development has sent ripples throughout the investment community and serves as an important reminder of the necessity of thorough vetting and independent due diligence when working with financial professionals. Simonides, known for his extensive

On December 9, 2024, FINRA undertook a disciplinary action against Sharon Green (CRD# 1269522), a broker registered with Independent Financial Group. According to a Letter of Acceptance, Waiver, and Consent (AWC), Green violated FINRA rules by improperly participating in an outside business activity without providing prior written notice to her member firm. As alleged, the

In the wake of Warren Buffett’s famous warning that “It takes 20 years to build a reputation and five minutes to ruin it,” the investment community faces another sobering reminder of the importance of due diligence and ethical conduct in financial services. The Case Against a Former Broker David Cooper (CRD #: 5357930), a former

Centaurus Financial and its financial advisor Mike Chauvenet are currently facing scrutiny due to a significant investor complaint alleging unsuitable investment recommendations. Filed in January 2025, the complaint claims the advisor’s recommendations resulted in financial losses totaling $292,800. As financial advisors are expected to act in their client’s best interests, complaints like these highlight the

In the ever-evolving landscape of financial services, trust and accountability remain paramount. As Warren Buffett famously said, “It takes 20 years to build a reputation and five minutes to ruin it.” This wisdom resonates particularly strongly in light of recent developments involving Sherry Lowery (CRD #6545606), formerly of The Huntington Investment Company. According to a

In the complex world of financial services, transparency and accountability are paramount. As Warren Buffett once wisely noted, “It takes 20 years to build a reputation and five minutes to ruin it.” This wisdom rings particularly true in the recent case involving Kaitlyn Carlson (CRD #6075785), a former broker with UBS Financial Services. According to

As a financial analyst with over a decade of experience, I’m well-versed in understanding the complexities of the financial market landscape and the potential pitfalls that can arise. A recent case concerning the well-known broker-dealer Alterna Securities is a pertinent example of the kind of challenges that investors might face. It serves as a reminder